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Tag Archives: Reg D 506
SEC Lifts Ban on General Solicitation
Today, the SEC voted 4 to 1 in favor of implementing section 201(a) of the JOBS Act which lifts the ban on general solicitation, permitting startups, venture capitalists and hedge funds to openly advertise that they are raising money. This … Continue reading
Posted in Crowdfunding, Dodd-Frank Act, JOBS Act
Tagged Crowdfunding, Dodd-FRank, General advertising, general solicitation, JOBS Act, Reg D 506, SEC
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Mary Schapiro to Leave SEC
Today, the SEC issued this release announcing that Chairman Mary Schapiro will be leaving the SEC in December. After 4 years, she is one of the longest serving Chairmen and in the past two years brought a record number of … Continue reading
Posted in JOBS Act, Reg D 506, Rule 506(c)
Tagged Elisse Walter, general solicitation, JOBS Act, Mary Schapiro, Reg D 506, resignation, Rule 506, SEC
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What is a Finder?
Its no secret that both private and public companies, large or small have challenges raising much needed capital from investors. Access to equity can be difficult when complying with a maze of state and federal rules and regulations. Business owners … Continue reading
Posted in IPO, Reg D 506, Securities Offerings
Tagged Broker-dealer, equity, Finder, FINRA, investment, investor, money, Reg D 506, SEC, Smaller Reporting Company, unlicensed broker dealer
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Rule 506 and General Solicitation
On August 31, 2012 the SEC issued proposed rules that would eliminate the prohibition against general solicitation and advertising in Rule 506 offerings. The SEC has requested comments on the proposed rules within 30 days. You may provide your comments … Continue reading
SEC Reschedules Open Meeting on JOBS Act
If you were anxiously awaiting the guidance to be provided at the SEC’s Open Meeting on the JOBS Act Title II- provisions mandating the removal of the ban on general solicitation and advertising for Rule 506 offerings, then you will … Continue reading
Posted in Dodd-Frank Act, JOBS Act, Legislation, Reg D 506
Tagged business, Corporate Finance, Dodd-FRank, JOBS Act, mining, Reg D 506, SEC
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FINRA Redefines Suitability
On July 9, 2012, FINRA’s new Rule 2111 became effective. The new Rule requires that a broker-dealer or associated person “have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable … Continue reading
JOBS Act and General Solicitation of 506 Offerings
The JOBS Act (the “Act”), signed into law on April 5, 2012, promises to have a significant impact on the sales of securities under federal securities laws. Currently, any issuer intending to rely on the Rule 506 exemption in an … Continue reading
Posted in JOBS Act, Reg D 506, Securities Offerings
Tagged general solicitation, JOBS Act, Offerings, Reg D 506, stoecklein law group
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